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" ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security... "
Decisions and Reports - 579. lappuse
autors: United States. Securities and Exchange Commission - 1944
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Code of Federal Regulations: Containing a Codification of Documents of ...

1971
...any court of competent jurisdiction temporarily or permanently enjoining or restraining such person from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker,...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1972
...to the filing of such notification, temporarily or permanently restraining or enjoining such person from engaging in or continuing any conduct or practice In connection with the purchase or sale of securities: or (5) Is subject to a United States Post Office fraud order. (d) No...
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Code of Federal Regulations

1968
...dealer or investment adviser; (2) Is temporarily or permanently restrained or enjoined by any court from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker,...
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Investment Company Act of 1940, as Amended

United States - 1970
...affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of any security; or (3) a company any...
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Hearings, Reports and Prints of the Senate Committee on ..., 89. sējums

United States. Congress. Senate. Committee on Appropriations - 1966
...denied on the basis of a permanent or temporary Injunction by a court of competent jurisdiction against engaging in or continuing any conduct or practice in connection with the purchase or sale of any security. The 19&4 amendments add as a ground for disciplinary action the existence...
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Investment Company Act Amendments of 1967, Hearings Before the Subcommittee ...

United States. Congress. House Interstate and Foreign Commerce - 1968
...an affiliated jierson <»r employ«-«» of any investment company, bank, or Insurance company, or from engaging In or continuing any conduct or practice in connection with ay such activity, »r In connection with the purchase or sale of any security: or "(4) has willfully...
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Laws Relating to Securities Commission, Exchanges and Holding Companies ...

United States - 1973 - 372 lapas
...dealer, or as an affiliated person or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of any security j or (1) within ten years...
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United States Code

United States - 1975
...commission merchant, or floor broker, or as an affiliated person or employee of any of the foregoing, or from engaging In or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of commodities or securities; or (C) any...
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